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Wealth Manager · Small ($100M–$1B)
CRD 152087
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ADV data as of Mar 05, 2025
- Regulatory AUM
- $800M
- Discretionary
- $734M
- Clients
- 399
- Avg AUM / client
- $2.0M
- Accounts
- 1,107
- Employees
- 10
AUM over time
$95.7M
$800M
Mar 28, 2012
Mar 5, 2025
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 05, 2025
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 208 | $314M | 39.2% |
| High net worth individuals | 175 | $421M | 52.5% |
| Pooled investment vehicles (non-investment companies) | 2 | $32.1M | 4.01% |
| Pension and profit sharing plans | 12 | $29.8M | 3.72% |
| Charitable organizations | 2 | $4.2M | 0.53% |
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Pension consulting services
- • Publication of periodicals or newsletters
Custody
Reported custodians
- National Financial Services (Fidelity) $418M (52% of AUM) Mar 2025
- Charles Schwab & Co. $286M (36% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 05, 2025.